Carl B. Davis
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Carl Braden Davis III, who also goes by Carl Braden Davis, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1964. Carl had worked at 5 firms and has passed the Series 66, Series 63, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2012 - January 2, 2014
CARY STREET PARTNERS
November 30, 2012 - January 2, 2014
CARY STREET PARTNERS
December 23, 1997 - September 1, 1998
SALOMON BROTHERS INC.
February 26, 1976 - April 21, 2008
CITIGROUP GLOBAL MARKETS INC.
July 1, 1964 - February 26, 1976
SMITH, BARNEY & CO. INCORPORATED
Primary Firm SEC Registration
CARY STREET PARTNERS
CRD#: 128545 / SEC#: 801-64239
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
PC
Date: 9/7/1977
AMEX Put and Call ExamSeries 1
Date: 6/29/1964
Registered Representative ExaminationSeries 8
Date: 7/16/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CARY STREET PARTNERS
CRD#: 128545 / SEC#: 801-64239
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,853 |
| AUM (Assets Under Management) | $ 8,263,891,736 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/22/2024 | ||
| 07/25/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
